The North American Securities Administrators Association (NASAA) is consulting with external stakeholders and conducting a nationwide survey to collect input and views on a potential continuing education requirement for investment adviser representatives. NASAA and its members are in the early phases of this initiative and are conducting this stakeholder survey to determine the next phase.
The survey is designed to collect input from investment adviser representatives, compliance professionals (in-house or consultants) as well as other industry stakeholders.
For additional information on this initiative, click here.
The deadline for this survey is March 31, 2018.